Robert A. Mosby
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Arnold Mosby was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1992 - July 29, 1998
BRANCH, CABELL & CO., INC.
June 3, 1991 - June 2, 1992
NORTH AMERICAN FINANCIAL GROUP, INC.
February 6, 1987 - November 28, 1990
COLEMAN EDWARDS SECURITIES CORPORATION
November 2, 1983 - December 17, 1986
DOMIK CORP.
June 17, 1981 - December 16, 1983
ANDERSON & STRUDWICK, INCORPORATED
January 2, 1979 - June 19, 1981
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BRANCH, CABELL & CO., INC.
CRD#: 6820 / SEC#: , 8-7165
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TUCKER ANTHONY SUTRO | PARENT | |
| CAMPBELL, KENNETH RICHARD III | CCO | 2056286 |
| ENOCH, JACK MARTIN JR | DIRECTOR | 1237412 |
| FRANK, ANTHONY JON | DIRECTOR & SENIOR MANAGING DIRECTOR | 212715 |
| GOLDSMITH, JOHN | DIRECTOR | 224462 |
| HUSKE, LEIGHTON III | DIRECTOR AND SENIOR MANAGING DIRECTOR | 253893 |
| LUCAS, ANDREW JOHN | DIRECTOR | 501705 |
| MILLER, HENRY ROBERTS IV | DIRECTOR | 840580 |
| ROBERTS, CHARLES RICHARD | CEO, PRESIDENT, DIRECTOR | 846282 |
| SMITH, ANTHONY EDWARD | DIRECTOR | 858687 |
| THOMPSON, EDWARD HUNTER JR | DIRECTOR | 445674 |
| YEVICH, ROBERT HUDSCO | EXECUTIVE VICE PRESIDENT, DIRECTOR | 474477 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
